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Corporate and Financial Weekly Digest - Volume II, Issue 9

Newsletter | March 2, 2007

In this issue of CFWD we discuss:

- 2007 SEC Corporation Finance Projects
  Outlined
- NYSE Proposes Rule Changes to Conform
  to NASD Rules
- SEC Proposes Order Exempting a Family
  Management Company from the Investment
  Advisers Act
- NASD Notifies Members of Important Topics
  in Examinations
- OTS Issues Gift Card Guidance
- Proposed Assessment Rate Adjustment
  Guidelines for Large Institutions and
  Insured Foreign Branches
- Supervisory Guidance Related to Basel
  II Implementation
- District Court Holds That Inquiry Notice
  Was Triggered But Denies Summary Judgment
- Plaintiffs Sufficiently Alleged Pattern of
  Racketeering Activity
- CFTC Amends Advertising Regulations for CPOs
  and CTAs
- "Enforcement Advisory on Cooperation”
  Revised
- Disclosure Rules Proposed for FCMs Offering
  Sweep Accounts
- Offices Holding FCM Books and Records May Require
  Supervision

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